The OAPEN Deposit service for Open Access, peer reviewed books is targeted at research funders and universities. The service aims to support policies to make monographs available on Open Access. This presentation was for the OA working group of the European Research Council

1. OAPEN Deposit service
European Research Council
Working Group on Open Access
5 February 2014, Brussels
Eelco Ferwerda
OAPEN Foundation

2. Contents
– Research output in HSS
– Monographs and Open Access
– OA models for books
– OAPEN
– Deposit service
– DOAB
– Benefits
– Business model
– Workflow

5. Research output in HSS
• OA journals are on the rise: 45% of
journals in DOAJ are in HSS disciplines
• But AHRC estimates just a third of
research output is in the form of articles,
two-thirds is books (Humanities)
• Monographs are the preferred genre
• Print is preferred for reading long texts
• E is growing for discovery and research

6. Publication profiles
RAE 2008: 3 classes of disciplines*
articles
sciences
chapters
books
~100%
parts of HSS
~66%
~15%
~15%
parts of
humanities
~35%
~25%
~40%
*) Nigel Vincent, The British Academy

7. Conventional monographs
Conventional monographs are losing sustainability:
• Libraries acquisition budgets under pressure
• Sales to libraries have been in steady decline
• Costs of monographs have gone up
Need for new models:
• OA increases discovery and usage
• OA may increase impact
• OA may contribute to sustainable models

8. Authors need convincing*
• Most HSS authors prefer printed book with
prestigious press
• Online is secondary (although preferred
for search, reference, certain research)
• Online is less trustworthy, less credible
• Author side charges associated with vanity
publishing
> Quality is key
*) survey results from OAPEN-UK

9. OA models for books
Online does not substitute print:
> Publishers choose a hybrid approach to
OA books: OA + print
> Most publishers prefer CC BY-NC licences
as they need to recover costs of printed
edition
> Green OA is less feasible, may require
longer embargo periods

10. Business models for OA books
• Hybrid or dual edition publishing
• Institutional support
• Author side publication fee
• Library side models

11. Business models for OA books
• Hybrid or dual edition publishing
All book publishers
• Institutional support
Majority: Mpublishing, Athabasca UP, ANU E press etc
• Author side publication fee
Growing: Palgrave Macmillan, Brill, De Gruyter,
Springer, Manchester UP
• Library side models
New: Knowledge Unlatched, OpenEdition,
Open Library for Humanities

12. OA books gaining momentum
• Worldwide attention for OA monographs.
• OA monograph conference at the British Library,
workshops and seminars everywhere
• Platforms and services supporting OA books:
OMP, OpenEdition, OAPEN, DOAB, SciELO
• Established book publishers adopting OA:
Palgrave Macmillan, Springer, OUP, De Gruyter, Brill
•
•
•
•
New OA start ups: Amherst Press, Anvill Academic
OA publication funds supporting books: WT, FWF, NWO
OA mandates including books: H2020, ERC, ARC
KU to launch first pilot for OA books

13. Conclusions
• OA for monographs is gaining
momentum
• Many examples and models
• Monographs require a different
approach than journals
• Main barriers are cultural
• In the transition to OA, quality is a key

14. OAPEN
• OAPEN: Open Access Publishing in
European Networks
• Started as EU co-funded project in 2008
• Conducted by 6 EU University Presses
and 2 NL Universities
• Continued as Foundation after close of
project in April 2011

15. OAPEN Foundation
• OAPEN Foundation: not-for-profit entity
• Supported by academic institutions from the
Netherlands, including NWO - the Netherlands
Organisation for Scientic Research
• Based at National Library of the Netherlands
• Infrastructure hosted at University of Amsterdam
• Governance:
– OAPEN board: legal representative
– Council of participants: elects board members
– Advisory board

16. OAPEN Foundation
• Dedicated to OA books
• OAPEN Library
–
–
–
–
Hosting full text collection of OA books (+ chapters)
Only peer reviewed content
60+ publishers, 2000+ books
Increasing visibility, discoverability, usage
• Main focus areas:
– Quality assurance
– Aggregation and Deposit
– Discovery and Dissemination

17. OAPEN: history
• 2010: Launch of OAPEN Library
• 2011: Pilot projects exploring OA for
books
(OAPEN-NL, OAPEN-UK)
• 2012: Launch of DOAB
• 2012: Collaboration with FWF
• 2013: Partnership with Knowledge
Unlatched
• 2014: Establising Deposit service

18. Deposit service: aims
• Support research funders’ and institutional policies for
OA monographs
• Provide a central infrastructure for services in the areas
of dissemination, quality assurance and digital
preservation
• Become the central, trusted repository for OA
monographs
• Aggregate OA monographs from publishers
• Help establish standards and requirements for the
effective discovery, access and dissemination of OA
publications

19. OAPEN Deposit service

20. Quality assurance
•Publisher peer review procedures
•Standards and requirements (with OASPA)
•Metadata enhancement (DOI, ORCID, grant information,
related research data)
•Compliancy check (option)

21. Content aggregation
•OAI harvesting, FTP bulk uploads, online uploading
•PDF and TEI XML
Preservation
•NL National Library e-depot
•+ selection of second partner (CLOCKSS)

22. Metadata conversion
•Daily feeds: ONIX 2.1 and 3.0, MARC XML, CSV,
MARC 21 in preparation
•Integration into Library catalogues
•Library services: WorldCat (OCLC), ProQuest (Serial
Solutions), ExLibris (Primo Central), Ebsco
•Aggregators: BASE, Europeana, Europeana Cloud

23. Discovery
•Search engine optimization
•Automated export to DOAB
Reporting
•COUNTER compliant usage statistics
•Usage reporting and tracking service (grants)
•Online institutional access and content management

24. Directory of Open Access Books
• Discovery service for OA books
• Searchable index to metadata of peer
reviewed monographs
• Link to OA publication
• Links to webshop and vendors

25. DOAB goals
• Increase discoverability of OA books
• Provide authoritative list of OA book
publishers
• Support quality assurance and
standards
• Promote OA book publishing

26. DOAB results
Since launch:
•22  55 publishers (10+ pending)
•700  1700 OA books
Preliminary research:
•DOAB is top referral site after search engines
•OA books in DOAB are downloaded 2.5 times
more than unlisted books

27. •
•
•
•
Deposit service
Full text
Free + OA
Focus on HSS
Aim:
• Deposit service for
OA books
•
•
•
•
Discovery service
Metadata only
OA only
All disciplines
Aim:
• Authoritative list of
OA book publishers

28. Deposit service: benefits
•
•
•
•
•
•
•
•
Increased discoverability and visibility of OA publications: increasing
worldwide usage and impact
Quality assurance of OA publications
Standardization of OA publications regarding metadata and
licensing
Digital preservation and archival access
Management information concerning usage, grants, related
research data and OA publication fees
Efficient integration into library catalogues and third party library
services
A central point of access for library consortia
A platform for international co-operation on OA policies and
standards for monographs

29. OAPEN Business model
• Establishing Deposit service
– transition from subsidy model to service based model
• Target groups:
– research funders, library consortia, universities/libraries
• Annual fee:
– based on percentage of research spending
• Membership options:
– National license
– Consortium
– Single institution

30. Launching participants (tbc)
• Netherlands:
– Netherlands Organization for Scientific Research (NWO)
– the National Library (KB), the Netherlands Academy of Sciences
(KNAW), a number of universities
• Austria:
– Consortium of the Austrian Research Council (FWF) + a number
of universities
• United Kingdom:
– JISC Collections: pilot for national license
– Wellcome Trust
– Knowledge Unlatched

32. Deposit workflow

33. Deposit workflow

34. Deposit workflow: benefits
• Ensure compliance
• Capture data:
–
–
–
–
DOI
ORCID
Grant information
Research data
• Promote transparency:
– Review process
– Licensing
– OA charges

35. Deposit workflow: opportunity
Pilot to publish after Grant ending:
•ERC reserves payment
of publication costs
•OAPEN receives deposit
– Checks compliance
– Signals ERC
•ERC pays author
•Author pays publisher

36. Questions?
Eelco Ferwerda
e.ferwerda@oapen.org
www.oapen.org
www.doabooks.org